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Excessive Trading

Most Recent Posts in Excessive Trading

Dec 7, 2023 Christopher Kennedy of Western International Securities Barred for Excessive Churning Resulting in $2.3 Million in Losses
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Nov 22, 2022 Edward Turley Barred After Settling Suitability and Fraud Claims Worth $47 Million
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Jan 1, 2021 Worden Capital Management Ordered to Pay $1.5 Million Over Systemic Excessive Trading and Unsuitable Recommendations That Caused Losses of Millions of Dollars, Interfering with Customers' Requests to Transfer Accounts to Another Broker-Dealer
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Aug 4, 2020 Oppenheimer, Already Sanctioned $3.8 Million, Sees Broker Penalized for Premature & Unsuitable UIT Sales & Trades
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Jul 29, 2020 Fired Morgan Stanley Broker Stephen Sloane Under Investigation for Unsuitable Recommendations in Quickly Trading Long-Term Investments
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Feb 6, 2020 Wells Fargo Fined for Failing to Supervise Rep's Excessive Trading; Matthew Maczko Barred
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Oct 17, 2019 Financial West Group (LA) Broker Daniel Maughan Barred for ETF Churning & Excessive Trading
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Oct 16, 2019 Broker John Charles Wyshak Ordered to Pay Nearly $1 Million Over Churning Allegations at Raymond James
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Sep 17, 2019 JP Morgan Fined $1.1 Million for Failing to Timely Disclose Broker Misconduct, Harming FINRA & The Public
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